Schroders Personal Wealth combines over 400 years of expertise from two leading British companies - partnering to bring financial planning services to more people in the UK.
Schroders Personal Wealth combines Lloyds Banking Group's significant customer base, multi-channel distribution and digital capabilities with Schroders' investment and wealth management expertise and technology capabilities.
Our focus is on the personal relationship we develop with our customers, underpinned by our multi-channel customer reach and our global investment expertise. Our aim is to become a top UK financial planning business within five years.
Would you like to be part of making this possible?
Ensuring effective regulatory and compliance risk oversight of SPW ACD, delivering, maintaining and improving compliance business wide
Evaluating the adequacy and effectiveness of the existing controls, policies and procedures by supporting the delivery of the SPW ACD Compliance Monitoring Plan
Identifies shortcomings, suggests improvements and implements approved revisions to current compliance processes, systems and procedures within the ACD
Increase awareness and promote a culture of compliance internally
Positively influence others by demonstrating core SPW values and behaviours
Supporting the business
Build and maintain a cross-functional internal network of key stakeholders
As a trusted advisor, provide compliance and regulatory advice and analysis in relation to relevant business initiatives, projects, issues or events to ensure compliance with all relevant laws, regulations and policy
Support delivery of SPW ACD objectives having regard to the interests of shareholders, investors and colleagues, and to the public and social responsibilities through active collaboration with other colleagues
Assist the ACD Compliance Officer with regulatory horizon scanning, analysing the impact on the business and helping implement the appropriate changes within our policy and procedures
Creation and submission of regular reports to the SPW ACD Chief Risk Officer and other executives on information gathered and analysed in order to make recommendations for improvements to the management and control of risk as appropriate
Report and escalate compliance issues within SPWACD, recommending solutions as required
Key Capabilities, Skills, Knowledge & Experience
The jobholder will ideally hold a Professional qualification and/or have experience in risk management, specifically having compliance and regulatory experience within an Investment Management business and evidencing:
Strong stakeholder management skills with ability to influence at all levels, and build strong working relationships across the business
Comprehensive knowledge and wide experience across financial services, with particular depth in investment business, ideally in fund management
In-depth understanding of the regulation and compliance risks associated with Authorised Corporate Director entities and associated regulations
Investor and market understanding and expertise of compliance and regulatory risk
Evidence of operating within an organisation who operate a 3 lines of defence risk framework
Good knowledge of key relevant legal, regulatory and statutory requirements
Ability to operate within a Compliance advisory capacity; using your knowledge to identify issues and guide pragmatic risk mitigation
Ability to provide wise, concise and pragmatic advice (both written and verbal) on regulatory requirements and their application across the business
Our ethos is to provide equal opportunities to all, and to ensure we represent the communities we serve.
If like us, you're more motivated by customers than by target, and you'd thrive in a culture that is values and client led - come and talk to us. Select the Apply Now button to start the conversation